Glen J. Harm

GOLD COAST SECURITIES

Los Angeles, CA 90010

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CRD#: 2664800

Professional summary

Glen Jhongeun Harm, who also goes by Glen J Harm, Jhong Eun Harm, is a registered financial advisor currently at GOLD COAST SECURITIES, INC. located in Los Angeles, California.

Glen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Glen has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Glen J Harm | Jhong Eun Harm

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

BLUE CROSS OF CALIFORNIA - NON INVESTMENT P.O. BOX 9074 OXNARD, CA 93031 INSURANCE BROKER-HEALTH AND GROUP HEALTH INSURANCE, STARTED IN OCTOBER 2005, APPROXIMATELY 50% OF MY TIME IS DEVOTED TO THIS ACTIVITY DURING ALL TIMES.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Glen Jhongeun Harm's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Glen Jhongeun Harm's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

January 4, 2006 - Present

GOLD COAST SECURITIES, INC.

Office #1: 3055 Wilshire Blvd. Suite 790, Los Angeles, CA 90010

RIA

CRD#: 110925

Los Angeles, CA

Current

October 28, 2005 - Present

GOLD COAST SECURITIES, INC.

Office #1: 3055 Wilshire Blvd. Suite 790, Los Angeles, CA 90010

RIA

CRD#: 110925

Los Angeles, CA

Past

March 12, 2004 - July 15, 2005

SIGNATOR INVESTORS, INC.

CRD#: 468

BOSTON, MA

Past

July 28, 2000 - February 12, 2004

CAPITAL BROKERAGE CORPORATION

CRD#: 10465

GLEN ALLEN, VA

Past

November 21, 1995 - January 5, 2000

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

CRD#: 4039

NEW YORK, NY

Past

November 21, 1995 - June 8, 2000

EQUITABLE ADVISORS, LLC

CRD#: 6627

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(10/28/2005)

IAR

California
(1/4/2006)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 3/9/2000

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/6/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/19/1999

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 11/20/1995

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/30/2000

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

GOLD COAST SECURITIES, INC.

GOLD COAST ADVISORY | GOLD COAST SECURITIES, INC.

CRD#: 110925 / SEC#: 801-60090, 8-53148

RIA

Registered Investment Advisory firm - SEC (12/10/2012 Terminated)

California

Registered Investment Advisory firm - SEC (8/23/2012 Approved)

Idaho

Registered Investment Advisory firm - SEC (9/12/2012 Approved)

Ohio

Registered Investment Advisory firm - SEC (6/26/2012 Approved)

Texas

Registered Investment Advisory firm - SEC (12/6/2012 Approved)

Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

275 E. Hillcrest Drive-suite 225, Thousand Oaks, CA 91360

Mailing Address

275 E. Hillcrest Drive-suite 225, Thousand Oaks, CA 91360-8241

Phone number

(805) 496-3660

Established

Delaware since 01/17/2001

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (28 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
HO, TAE POM	CEO/CFO/CLO/CHIEF COMPLIANCE OFFICER/DIRECTOR	2857540
TAMANO, SALLY YIP	SVP, COO, DIRECTOR	1993133

Regulatory assets under management

Total Number of Accounts	50
AUM (Assets Under Management)	$ 37,393,957

Disclosures

Regulatory Event

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Contact information

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Glen J. Harm

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Glen Jhongeun Harm's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Glen Jhongeun Harm's CRS (Customer Relationship Summary).

Certified licenses

Experience

GOLD COAST SECURITIES, INC.

SIGNATOR INVESTORS, INC.

CAPITAL BROKERAGE CORPORATION

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

EQUITABLE ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 3/9/2000

Series 63

Date: 11/6/1995

SIE

Date: 10/1/2018

Series 7

Date: 12/19/1999

Series 6

Date: 11/20/1995

Series 24

Date: 3/30/2000

FINRA

Current Firm

GOLD COAST SECURITIES, INC.

Contact information

FINRA licenses (28 States and Territories)

Documents

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

GOLD COAST SECURITIES, INC.

TRUST BUT VERIFY

Contact information

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